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Showing 171 to 180 of 1270 search results for This final notice refers to breaches of PSR.

  1. Final Notice 2013: Michael Coscia [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.

  2. Final Notice 2023: Geoffrey Edward Armin [pdf]

    Final notices Published: 03/11/2023
    This Final Notice refers to breaches of Statements of Principle 2 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £200,000 is being made to

  3. Final Notice 2022: Aiden Henderson [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  4. FCA Final Notice 2013: Mr Rahul Shah [pdf]

    Final notices Published: 13/11/2013 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.

  5. Final Notice 2023: Christopher Vincent Summers [pdf]

    Final notices Published: 03/10/2023
    This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  6. Final Notice 2022: Robert Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Robert Ward) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial

  7. Final Notice 2023: Denis Lee Morgan [pdf]

    Final notices Published: 28/06/2023
    This Final Notice refers to breaches of FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a prohibition and withdrawal of approvals.

  8. Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]

    Final notices Published: 18/11/2022
    This final notice refers to a breach of APER 6, and being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have imposed a public censure.

  9. Final Notice 2015: Linda Carole Stuart [pdf]

    Final notices Published: 23/11/2015 Last modified: 23/11/2015
    This final notice refers to numerous breaches of CONC Chapter 8 and SYSC 9.1 related to inability to meet Threshold Condition 2D (appropriate non-financial resources) in the Consumer Credit: Debt Management sector. We imposed a refusal of Part 4A

  10. Final Notice 2023: Andrew John Deeney [pdf]

    Final notices Published: 28/09/2023
    This Final Notice (Andrew John Deeney) refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions and investments sector. We imposed a financial penalty and prohibition.
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